email Enterprise Records and Document Management System (eerdms) Program Overview December 3, 2013 Presented to the FIRM Council Sensitive but Unclassified For Official Use Only
Agenda Program Introduction Our Approach Schedules and Auto Classification Integration and Migration eforms Challenges, Lessons Learned and the Future 2
Our agency mission The protects America s natural resources and heritage, honors our cultures and tribal communities, and supplies the energy to power our future. Cabinet-level agency with 14 Bureaus and Offices that manages: ~80,000 employees plus 280,000 volunteers $16.8B operating budget 500 million acres of surface land 479 dams and 348 reservoirs 30% of the nation's energy production 55,000 different maps each year ~500 million recreational and cultural visitors 1 in 5 acres of land managed 3
We have a structured IT Transformation program Alignment under a single CIO Defined outcomes Shift focus to Cloud First Bureaus buy services instead of infrastructure Meet or exceed expectations for reliability, accessibility and availability $500 million savings over 10 years High priority service areas for immediate modernization eerdms is one of the CIO s high priority areas 4
Centralizing information governance is logical Centralize all records management functions Shift information management to cloud first Provide centralized information governance for Departmental Records Offices; The Office of the Solicitor; The Office of the Executive Secretariat; The Office of the Inspector General; The Office of Cybercrimes; The Office of Freedom of Information Act; The Office of Ethics; and Congressional and Administrative Record 5
Agenda Program Introduction Our Approach Schedules and Auto Classification Integration and Migration eforms Challenges, Lessons Learned and the Future 6
Our well-defined vision guides the program Provide the Department of the Interior with a single cohesive integrated information management program designed to manage records and documents for its missions and programs to ensure public trust and transparency 7
Our approach to realize our vision Identify existing records schedules Align schedules and LOBs to mission Crosswalk records schedules to LOBs Incorporate autoclass for electronic records Prepare a DRS that aligns with LOBs Simplify records schedules Fully integrate with all record media Incorporate RM practices into IL and/or SDL 8
We created a cloud environment Human Created Information Enterprise earchive System (EES) Enterprise Content System (ECS) AUTO & MANUAL CLASSIFICATION INDEXING Enterprise Dashboard System (EDS) INPUT EMAIL JOURNALING DOCUMENT MANAGEMENT RECORDS MANAGEMENT COLLABORATION & WORKFLOW NARA Litigation System Information CASE MANAGEMENT MANDATED OUTPUT XML Legacy Document Systems EARLY CASE ASSESSMENT/eDISCOVERY ERP Systems Financial FISMA Moderate Cloud 9
IQBG cloud facility 500,000 Sq Ft of Planned Raised Floor Multiple Distinct Data Center Buildings (Current Basis of Design) Office Space 2 1 3
Multi-layered security Committed to provide the highest level of security from the property perimeter to the data center floor Secure Campus 500 foot setback to all buildings K-8 rated fencing (K-12 capable) Hardened, visitor screening facility with ballistic resistant fiberglass panels (Ballistic Level 3) Defense anti-terrorism force protection with focus on TIA 942 and FISMA guideline fulfillment FISMA Low through TS/SCI SCIF Armed security officers Metal detection devices X-ray scanning instruments Delta vehicle barriers Internal Security Central command center staffed 24x7x365 with roving guard force Security monitoring with video surveillance and security cameras Pedestrian turnstiles and badge reader systems separate common areas from datacenter space Biometric access through Man-Traps for datacenter areas (card/fingerprint & retina) Badge-in/badge-out security process, Vehicle Inspections 100+ CCTV cameras Secure shipping and receiving docks
Our lifecycle management in eerdms CAPTURE STORE MANAGE PRESERVE DELIVER Auto-Classification Multi-Functional Device Scanning Document Imaging Managed File Transfer Content Lifecycle Management Library Services Repository Records & Document Management Workspaces Legal Document Management Business Process Management Archiving Solutions Integration Center for Data Archiving Archiving for SAP and SharePoint Enterprise Search Correspondence Tracking National Shredding Program Capture Center Social Network Content Capture Social Media Mobile Device Capture National Digitization Program Migration Services efax/eforms Collaboration/ Workflow including Mobile Devices Enterprise Dashboards Auditing Early/Advanced Early Case Assessment & Review Email Management Blue text denotes optional products and services 12
eerdms status Digitizing millions of Indian trust records; Preparing for 100 million paper objects annually 800 million+ emails and attachments each year 1.6B+ indexed emails 30+ terabytes electronic content sent each year Preparing for an Exabyte of electronic content Providing support for FOIA, Congressional, Administrative Records, Ethics, Solicitor, and Inspector General requests Addressing all of M-12-18 and M-13-13
Agenda Program Introduction Our Approach Schedules and Auto Classification Integration and Migration eforms Challenges, Lessons Learned and the Future 14
We use three classification strategies Volume Intelligent Classification High Auto-Classification Structured Workflow Driven Automation Intelligent Classificaiton Manual Low Risk of Misclassification Low High 15
Auto-classification starts with a consolidated schedule 200 schedules / 2330 retention periods 1 schedule with 37 lines of business having 189 retention periods Individual Bureau Schedules Departmental Records Schedule 16
Our consolidated schedule is organized in 4 big buckets 1. Mission - 26 lines of business organized by DOI strategic goals Provide natural and cultural resource protection Manage energy, water, and natural resources Relationships with Indian Nations Scientific foundation for decision making Building a 21 st Century DOI 2. Administrative Administration Finance & Acquisition Information Technology 3. Policy Controls & Oversight Judicial & Legislative Activities Regulatory Development 4. Legal, Regulatory Compliance, and Enforcement Intelligence Operations Investigations & Audits Law Enforcement Litigation & Adjudications 17
How does our auto-classification work? Semantic Contents Model of Exemplars New Record B C A Line of Business & Retention Period Decision Algorithm Similar Exemplars List 18
We collect exemplars to build an OTAC model AUTO-CLASSIFICATION FOCUS IS ON EMAIL NOW Collect exemplars from bureaus (200 per LOB retention node) OTAC Training (Auto-Classification) includes scheduling and planning Building and tuning OTAC model Ongoing fine tuning of OTAC model We are implementing multiple models OpenText Auto Classification = OTAC 19
Auto-classification and event-driven retention In order to impose automation on event-driven retention processes Assign a year (i.e. 10 years from creation) so that the system notifies you that a retention period may have been met System retention notices serve as a tickler to the Records Manager to further investigate this record group s disposition Coordinate with the records originating Program Office and Legal staff to determine the actual date of closure and the retention period Process may have to be repeated for especially long business process cycles (i.e. dam construction checking status every 10 years) Consolidate event-driven retentions supporting a single business function whenever possible As business processes are automated, fewer individual eventdriven retention periods should be necessary 20
Production Research, Collection, ediscovery Documents are tagged with holds Each hold can be separate from other holds Documents inherit longest hold Auto-classification and automated searches can be applied Front-end and backend services remain available Electronic Documents Legal Holds FOIA Holds Congressional Holds Administrative Holds Investigative Holds Bureau Storage 21
Demonstration OpenText Auto-Classification (OTAC) 22
Agenda Program Introduction Our Approach Schedules and Auto Classification Integration and Migration eforms Challenges, Lessons Learned and the Future 23
Migration New Project Integration New/System migration planning has just begun 2 Doc/Records Systems 2 Indexing Systems 4 Legacy email Systems 2 Business Systems 1 Legacy email System 1 Business System 2 Doc / Records Systems 3 Business Systems Discovery 3 Business Systems Analysis & Estimation 1 Business System Go / No-Go Design & Implement 1 Digitization Project 1 Business Workflow System 1 Business System Production Rollout (includes user training & developing SOP Status as of Nov 15, 2013 24
Agenda Program Introduction Our Approach Schedules and Auto Classification Integration and Migration eforms Challenges, Lessons Learned and the Future 25
Yesterday s forms environment Decentralized forms management Lack of enterprise controls on how many forms are created and released Different organizations create forms for same business process Lack of tracking of data Manual validation of form data Lack of support for mobile workforce Forms processing delays; including lost forms Leading to a high cost of forms management 26
What does eforms do for forms management? Establishes a single web accessible portal for all forms Consolidates and automates bureau forms Identifies common repeatable workflow processes Notifications via email Provides automated processes for Department and public users Ability for online, offline and mobile forms processing Automated records disposition Ability to view business trend analysis and processing metrics 27
eforms format capabilities Capabilities HTML5 Web Form Electronic PDF Printable PDF (Print and fill out) Mobile Supported Field Level Data Validation Logic Based Business Rules Collapsible Sections Built In Navigation (Wizard Style) Save and Return Electronic Signatures In-line Help Text Electronically Attached Files Track Form Usage Metrics Electronic Submission Manual Submission (Fax or Mail) Wet Signature ~ ~ ~ X Fully Capable Partially Capable Not Capable X ~ ~ X X X X X X X X X X X 28
eforms default reporting capabilities Report Title Bureau Operational Summary Operational Summary Bureau Transaction Report Transaction Report Data Reported Provides an overview of transactions for a specific bureau Provides an overview of transactions for all bureaus Provides transaction statistics for a bureau, broken down by day and month Provides transaction statistics, broken down by day and month 29
Agenda Program Introduction Our Approach Schedules and Auto Classification Integration and Migration eforms Challenges, Lessons Learned and the Future 30
No system is without its challenges Gaining leadership support and funding DOI has a decentralized management structure Use WIIFM ( What s in it for me? ) Adapting to a new Department-wide email (Gmail) 6 months into implementation Managing DOI requirements within a COTS environment Capturing 2-3 million emails a day plus attachments Continuously identifying transitory and ultra-transitory Implementing a centralized system in a decentralized organization Supporting seasonal growth and national events 31
Lessons learned so far Communicate constantly in terms they understand To management, users, system admin, vendor partners, etc. Need to present the big picture to all stake-holders and present changes in stages Designate a full-time change management / communication champion Manage user expectations and scope creep Establish a strong implementation team Plan for the long term with iterative steps 32
We are in constant motion Capture and manage litigation holds Develop automated processes for records capture, litigation holds, preservation, and attorney support Centralize all Bureaus records programs Migrate legacy content management systems Convert and automate over 20,000 forms Integrate 1,700 mission dashboards Provide continuous training and communication and outreach Support mobile platforms 33
Questions? Edwin McCeney Departmental Records Officer Department of the Interior Office of the Chief Information Officer Policy, Planning and Management Edwin_McCeney@ios.doi.gov (202) 208-3321 John Montel Deputy, erecords Officer Department of the Interior Office of the Chief Information Officer Policy, Planning and Management John_Montel@ios.doi.gov (202) 208-3939 Prime Contractor IQ Business Group Carol Brock, Vice President, Information Governance cbrock@iqbginc.com (512) 415-5434 Contract No. D12PC00403 www.iqbginc.com Prime Contractor IQ Business Group Jack Frost, VP Federal Group jfrost@iqgoup.com (703) 819-7568 Contract No. D12PC00403 http://iqgroup-usa.com 34